Senior Analyst - Client Risk Prevention

RBC Capital Markets, LLC; Minneapolis (MN); On-site; USD 70,000 - 130,000; Full time

Benefits offered by this job

Health insurance

Dental insurance

Vision insurance

Life insurance

Disability insurance

Paid time off

401(k) matching

Job summary

RBC Capital Markets, LLC in Minneapolis seeks a Senior Analyst, Client Risk Prevention to manage fraud, financial exploitation and vulnerable client risk. You will provide proactive guidance to advisors, partners, and teams while handling sensitive, time-critical situations.

The role involves centralized intake, investigations, and documentation in Salesforce, with collaboration across legal, compliance and risk. Presence at a US Wealth Management office may be required.

Qualifications

• Bachelor's degree or equivalent experience in securities or retail banking.
• Five+ years of experience with operational risk or financial investigations.
• Ability to adapt to changing dynamics, resources, and procedures.
• Effective time management for high-volume case work.
• Analytical, problem-solving, detail-oriented with strong communication.
• Proficiency with Word, Excel, Outlook and PowerPoint.

Responsibilities

• Serve as centralized intake resource and SME for US Wealth Management fraud and exploitation responses.
• Manage a high volume of cases efficiently and effectively.
• Prepare detailed written analyses in Salesforce, documenting research, recommendations, and guidance.
• Communicate clearly with financial advisors and staff to gather information and coordinate reviews.
• Fulfill documentation requests from government agencies such as adult protective services.
• Assist with development and maintenance of department content and training materials.
• Partner with legal, compliance and risk to fulfill risk program objectives.
• Track metrics and identify trends for process improvement.
• Use research and monitoring tools to identify fraudulent activity; build relationships across the department.

Skills

Investment Risk

Risk Management

Market Risk

Investment Risk Management

Business Performance Management

Education

Bachelor's degree in finance or related field

Job description

Job Description

What is the opportunity?

As a Senior Analyst, Client Risk Prevention in the Business Risk Oversight team, you will be responsible for the intake and case management of incidents of fraud, financial exploitation, and vulnerable client support, providing proactive and responsive advice to advisors, business partners, and functional groups. This role requires someone who has a a passion for helping others and the ability to demonstrate time management, professionalism, and empathy with a calm demeanor while addressing potentially stressful, time-sensitive situations.

Please note that the firm will consider on a case-by-case basis candidates who are willing work from any existing US RBC Wealth Management office.

What will you do?

• Applying knowledge of regulations, laws, internal policies and standards, and best practices, to serve as a centralized intake resource and subject matter expert for US Wealth Management in response to potential fraud and/or client exploitation OR conduct timely comprehensive investigation which entails monitoring, identifying, investigations, and when appropriate, reporting of fraudulent activity indicative of elder financial exploitation, fraud, or any other financial risk or crime based on regulations, laws, internal policies and standards, and best practices.
• Manage a high volume of assigned cases efficiently and effectively
• Prepare detailed written analysis of research and findings in case management system (Salesforce). This would include documenting all research, recommendations, reports, holds, coordinate with internal business partners and agencies, evidence obtained, and guidance and education provided to field during a review.
• Provide clear and effective communication with financial advisors, complex/branch associates, and others as needed to gather pertinent information related to a review and to partner with parties during the duration of a review.
• Fulfill documentation requests from government agencies such as adult protective services
• Assist with the development and maintenance of department content including training materials, procedures, employee resources, and client-facing materials
• Partner closely with legal, compliance and risk colleagues to fulfill overall business risk objectives, including with respect to risk programs (e.g., Risk Culture and Conduct, Reputational Risk, Third Party Risk, Issues Management, Privacy, Operational Risk Events and Root Cause Analysis).
• Assist managers with tracking metrics and identifying trends for process improvement and efficiency
• Utilize a wide variety of research and transaction monitoring tools to identify fraudulent activity.
• Ability to foster and develop relationships across the department and developing as a trusted contact in this specific area of expertise

What do you need to succeed?

Must-have

• Bachelor's degree or equivalent experience securities or retail banking industries
• Five or more years of related experience with operational risk, financial investigations or operational knowledge of the broker dealer or financial services environment
• Ability to adapt to changing dynamics, including evolving intervention techniques, changing resources, and new procedures
• Effective time management to address high volume of cases while multi-tasking and prioritizing matters appropriately based on time sensitivity
• Analytic and Problem-Solving Skills, attention to details, highly organized and excellent communication skills (both written and oral)
• Proficiency in Microsoft Word, Excel, Outlook, and PowerPoint

Nice-to-have

• Series 7, 66 and 24
• Certified Fraud Examiner (CFE) or Certified Financial Crimes Investigation (CFCI) Certification
• Experience working with external entities such as law enforcement, APS agencies, state securities regulators
• Advanced research and analytical skills such as an ability to assess and analyze large amounts of data with a high attention to detail
• Advanced data query and analysis stills such as SQL or Snowflake

What's in it for you?

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

• A comprehensive Total Rewards Program include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.
• Leaders who support your development through coaching and managing opportunities.
• Ability to make a difference and lasting impact.
• Work in a dynamic, collaborative, progressive, and high-performing team.
• Opportunities to do challenging work.
• Opportunities to build close relationships with clients.

The expected salary range for this particular position is $77,000-$143,000 (Chicago), $70,000-$130,000 (Minneapolis), depending on your experience, skills, and registration status, market conditions and business needs.

You have the potential to earn more through RBC's discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.

RBC's compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:

• Drives RBC's high-performance culture
• Enables collective achievement of our strategic goals
• Generates sustainable shareholder returns and above market shareholder value

Job Skills

Business Performance Management, Investment Economics, Investment Risk, Investment Risk Management, Market Risk, Performance Management (PM), Risk Control, Risk Management, Standard Operating Procedure (SOP)

Additional Job Details

Address: 250 NICOLLET MALL:MINNEAPOLIS

City: Minneapolis

Country: United States of America

Work hours/week: 40

Employment Type: Full time

Platform: WEALTH MANAGEMENT

Job Type: Regular

Pay Type: Salaried

Posted Date: 2026-08-31

Our Employment Opportunities

At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One RBC. We believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.